RTX

SEC source: 0001225208-20-000623 · doc4.xml · derivative · entry 4

Mitchill Neil G. JR · CIK 0001633746 · Acting Sr. VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,497 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 1,400 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 1,497 RSUs, which included accumulated dividend equivalents, vested.

SEC source: 0001225208-20-000623 · doc4.xml · nonDerivative · entry 2

Mitchill Neil G. JR · CIK 0001633746 · Acting Sr. VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,192

SEC source: 0001225208-20-000623 · doc4.xml · nonDerivative · entry 1

Mitchill Neil G. JR · CIK 0001633746 · Acting Sr. VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,708

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-20-000624 · doc4.xml · derivative · entry 4

Calio Christopher T. · CIK 0001781357 · Pres, Comm Engines, P&W

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,497 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 1,400 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 1,497 RSUs, which included accumulated dividend equivalents, vested.

SEC source: 0001225208-20-000624 · doc4.xml · nonDerivative · entry 2

Calio Christopher T. · CIK 0001781357 · Pres, Comm Engines, P&W

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,382

SEC source: 0001225208-20-000624 · doc4.xml · nonDerivative · entry 1

Calio Christopher T. · CIK 0001781357 · Pres, Comm Engines, P&W

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,898

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-20-000625 · doc4.xml · derivative · entry 4

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,642 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 2,470 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 2,642 RSUs, which included accumulated dividend equivalents, vested.

SEC source: 0001225208-20-000625 · doc4.xml · nonDerivative · entry 2

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,093

SEC source: 0001225208-20-000625 · doc4.xml · nonDerivative · entry 1

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,967

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-20-000626 · doc4.xml · derivative · entry 4

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,884 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 5,500 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 5,884 RSUs, which included accumulated dividend equivalents, vested.

SEC source: 0001225208-20-000626 · doc4.xml · nonDerivative · entry 2

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,664

SEC source: 0001225208-20-000626 · doc4.xml · nonDerivative · entry 1

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,378

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-20-000627 · doc4.xml · derivative · entry 4

Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,884 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 5,500 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 5,884 RSUs, which included accumulated dividend equivalents, vested.

SEC source: 0001225208-20-000627 · doc4.xml · nonDerivative · entry 2

Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,024.1567

SEC source: 0001225208-20-000627 · doc4.xml · nonDerivative · entry 1

Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,735.1567

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-20-000628 · doc4.xml · derivative · entry 5

Gill Charles D · CIK 0001395028 · Executive VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,884 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 5,500 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 5,884 RSUs, which included accumulated dividend equivalents, vested.

SEC source: 0001225208-20-000628 · doc4.xml · nonDerivative · entry 2

Gill Charles D · CIK 0001395028 · Executive VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,440

SEC source: 0001225208-20-000628 · doc4.xml · nonDerivative · entry 1

Gill Charles D · CIK 0001395028 · Executive VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,148

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-20-000630 · doc4.xml · derivative · entry 4

JOHRI AKHIL · CIK 0001517450 · Special Advisor to Chmn/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,382 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 6,900 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 7,382 RSUs, which included accumulated dividend equivalents, vested.

SEC source: 0001225208-20-000630 · doc4.xml · nonDerivative · entry 2

JOHRI AKHIL · CIK 0001517450 · Special Advisor to Chmn/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,311.3464

SEC source: 0001225208-20-000630 · doc4.xml · nonDerivative · entry 1

JOHRI AKHIL · CIK 0001517450 · Special Advisor to Chmn/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,591.3464

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-20-000631 · doc4.xml · derivative · entry 4

LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,917 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 7,400 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 7,917 RSUs, which included accumulated dividend equivalents, vested.

SEC source: 0001225208-20-000631 · doc4.xml · nonDerivative · entry 2

LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,415

SEC source: 0001225208-20-000631 · doc4.xml · nonDerivative · entry 1

LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,920

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-20-000632 · doc4.xml · derivative · entry 7

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,932 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 20,500 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 21,932 RSUs, which included accumulated dividend equivalents, vested.

SEC source: 0001225208-20-000632 · doc4.xml · nonDerivative · entry 2

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,275

SEC source: 0001225208-20-000632 · doc4.xml · nonDerivative · entry 1

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,963

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-20-000633 · doc4.xml · derivative · entry 5

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,917 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 7,400 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 7,917 RSUs, which included accumulated dividend equivalents, vested.

SEC source: 0001225208-20-000633 · doc4.xml · nonDerivative · entry 2

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,965

SEC source: 0001225208-20-000633 · doc4.xml · nonDerivative · entry 1

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,917

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-19-014560 · doc4.xml · derivative · entry 4

Ortberg Robert Kelly · CIK 0001377692 · CEO, Collins Aerospace Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,114

Underlying: Common Stock · 10,114 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.exercise_date: As previously reported on November 28, 2018, the reporting person held 18,246 Rockwell Collins restricted stock units (RSUs) plus 27,368 FY18-20 Rockwell Collins performance shares that were exchanged for a number of UTC restricted stock units based upon the Equity Award Exchange Ratio set forth in the Merger Agreement between UTC and Rockwell Collins. The 18,246 RSUs resulted in 20,228 UTC RSUs, of which 50 percent vested on Nov 13, 2019 and the remainder vest on November 13, 2020.

F2 · derivative.expiration_date: As previously reported on November 28, 2018, the reporting person held 18,246 Rockwell Collins restricted stock units (RSUs) plus 27,368 FY18-20 Rockwell Collins performance shares that were exchanged for a number of UTC restricted stock units based upon the Equity Award Exchange Ratio set forth in the Merger Agreement between UTC and Rockwell Collins. The 18,246 RSUs resulted in 20,228 UTC RSUs, of which 50 percent vested on Nov 13, 2019 and the remainder vest on November 13, 2020.

SEC source: 0001225208-19-014560 · doc4.xml · nonDerivative · entry 2

Ortberg Robert Kelly · CIK 0001377692 · CEO, Collins Aerospace Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,222

SEC source: 0001225208-19-014560 · doc4.xml · nonDerivative · entry 1

Ortberg Robert Kelly · CIK 0001377692 · CEO, Collins Aerospace Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,325

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU) represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-19-014309 · doc4.xml · derivative · entry 5

Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock · 2,600 shares

Expires 2022-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-19-014309 · doc4.xml · nonDerivative · entry 3

Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001225208-19-014309 · doc4.xml · nonDerivative · entry 2

Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,301

SEC source: 0001225208-19-014309 · doc4.xml · nonDerivative · entry 1

Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,600

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share.

SEC source: 0001225208-19-014194 · doc4.xml · derivative · entry 5

JOHRI AKHIL · CIK 0001517450 · Special Advisor to Chmn/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,250 shares

Expires 2021-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-19-014194 · doc4.xml · nonDerivative · entry 3

JOHRI AKHIL · CIK 0001517450 · Special Advisor to Chmn/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,095.2097

SEC source: 0001225208-19-014194 · doc4.xml · nonDerivative · entry 2

JOHRI AKHIL · CIK 0001517450 · Special Advisor to Chmn/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,120.2097

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $147.4700 to $147.4800 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001225208-19-014194 · doc4.xml · nonDerivative · entry 1

JOHRI AKHIL · CIK 0001517450 · Special Advisor to Chmn/CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,345.2097

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share.

SEC source: 0001225208-19-014195 · doc4.xml · derivative · entry 8

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 122,000 shares

Expires 2022-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-19-014195 · doc4.xml · nonDerivative · entry 3

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,031

SEC source: 0001225208-19-014195 · doc4.xml · nonDerivative · entry 2

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,662

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $147.7400 to $147.9000 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001225208-19-014195 · doc4.xml · nonDerivative · entry 1

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,649

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share.

SEC source: 0001225208-19-014196 · doc4.xml · derivative · entry 10

LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,500 shares

Expires 2022-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-19-014196 · doc4.xml · derivative · entry 9

LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,000 shares

Expires 2023-01-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-19-014196 · doc4.xml · nonDerivative · entry 7

LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,003

SEC source: 0001225208-19-014196 · doc4.xml · nonDerivative · entry 6

LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,157

SEC source: 0001225208-19-014196 · doc4.xml · nonDerivative · entry 5

LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,095

F4 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $147.0700 to $147.1200 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.